Was Zhenyu Xu’s SOPH share sale under a Rule 10b5-1 trading plan?

Yes. The filing specifies the sales were effected pursuant to a pre-established Rule 10b5-1(c) trading plan. Such plans are arranged in advance and are designed to execute trades automatically, reducing the role of discretionary timing decisions by the insider.

SOPHiA GENETICS (SOPH) CSO sells shares to cover RSU tax via 10b5-1 plan

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

SOPHiA GENETICS SA Chief Scientific Officer Zhenyu Xu reported an open-market sale of 608 Ordinary Shares. The shares were sold at a weighted average price of $4.6015 per share on May 19, 2026, to satisfy tax withholding obligations arising from restricted stock units that vested on May 18, 2026.

According to the disclosure, these sales were executed under a pre-established Rule 10b5-1(c) trading plan and are not discretionary trades. Following this transaction, Xu directly holds 626,280 Ordinary Shares.

Insider Trade Summary 10b5-1

Net Seller: 608 shares ($2,798)

Net Sell 1 txn

Insider Xu Zhenyu

Role Chief Scientific Officer

Sold 608 shs ($3K)

Type	Security	Shares	Price	Value
Sale	Ordinary Shares	608	$4.6015	$3K

Holdings After Transaction: Ordinary Shares — 626,280 shares (Direct, null)

Footnotes (1)

Represents shares sold by the Reporting Person in the open market to satisfy tax withholding obligations arising in connection with the vesting of restricted stock units on May 18, 2026. These sales were effected pursuant to a pre-established Rule 10b5-1(c) trading plan adopted by the Reporting Person and do not represent discretionary trades. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.54 to $4.66, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Key Figures

Shares sold: 608 shares Weighted average sale price: $4.6015 per share Post-transaction holdings: 626,280 shares +2 more

5 metrics

Shares sold 608 shares Open-market sale on May 19, 2026

Weighted average sale price $4.6015 per share Ordinary Shares sold in multiple transactions

Post-transaction holdings 626,280 shares Ordinary Shares held directly after the sale

Trade price range $4.54 to $4.66 per share Range of individual trade prices for the 608 shares

RSU vesting date May 18, 2026 Vesting that triggered related tax withholding sale

Key Terms

restricted stock units, Rule 10b5-1(c) trading plan, weighted average price, tax withholding obligations, +1 more

5 terms

restricted stock units financial

"tax withholding obligations arising in connection with the vesting of restricted stock units on May 18, 2026"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

Rule 10b5-1(c) trading plan regulatory

"These sales were effected pursuant to a pre-established Rule 10b5-1(c) trading plan adopted by the Reporting Person"

A Rule 10b5-1(c) trading plan is a legally defined, pre-set schedule that lets company insiders automatically buy or sell stock at specified times or under set formulas when they are not in possession of undisclosed, sensitive information. Think of it like an automatic payment plan for trades: because the instructions are written in advance, trades under the plan help protect insiders from allegations of trading on secret information and give investors clearer expectations about when insiders will transact, which can affect liquidity and perceived transparency.

weighted average price financial

"The price reported in Column 4 is a weighted average price"

Weighted average price is the average price of a security where each trade or component is counted according to its size, so bigger trades pull the average more than smaller ones. Think of it like calculating the average cost of a grocery haul where items you bought more of have greater influence on the final per-item cost. Investors use it to understand the true average price paid or received, judge execution quality, and compare trading performance against market movement.

tax withholding obligations financial

"sold by the Reporting Person in the open market to satisfy tax withholding obligations arising"

open market financial

"Represents shares sold by the Reporting Person in the open market to satisfy tax withholding obligations"

An open market is a system where buying and selling of goods, services, or financial assets happen freely without restrictions or special controls. For investors, it means they can trade assets easily and quickly, which helps determine fair prices based on supply and demand. This environment encourages transparency and competition, making it easier to buy or sell with confidence.

Form 4 Insider Transactions: What Each Field Means →

05/20/2026 - 04:02 PM

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Xu Zhenyu

(Last)

(First)

(Middle)

C/O SOPHIA GENETICS SA

LA PIECE 12

(Street)

ROLLE

1180

(City)

(State)

(Zip)

SWITZERLAND

(Country)

2. Issuer Name and Ticker or Trading Symbol
SOPHiA GENETICS SA [ SOPH ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Chief Scientific Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
05/19/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Ordinary Shares	05/19/2026		S		608⁽¹⁾	D	$4.6015⁽²⁾	626,280	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. Represents shares sold by the Reporting Person in the open market to satisfy tax withholding obligations arising in connection with the vesting of restricted stock units on May 18, 2026. These sales were effected pursuant to a pre-established Rule 10b5-1(c) trading plan adopted by the Reporting Person and do not represent discretionary trades.

2. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.54 to $4.66, inclusive. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Remarks:

	/s/ Elimara Brunetto as Attorney-in-fact for Zhenyu Xu	05/20/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did SOPHiA GENETICS (SOPH) report for Zhenyu Xu?

SOPHiA GENETICS reported that Chief Scientific Officer Zhenyu Xu sold 608 Ordinary Shares in an open-market transaction. The sale was linked to tax withholding for vested restricted stock units and executed under a pre-established Rule 10b5-1(c) trading plan.

At what price were the SOPH shares sold in Zhenyu Xu’s Form 4 filing?

The shares were sold at a weighted average price of $4.6015 per share. The transactions occurred in multiple trades within a price range from $4.54 to $4.66, as disclosed, with detailed breakdowns available upon written request to the company or regulators.

Why did SOPHiA GENETICS officer Zhenyu Xu sell 608 SOPH shares?

The filing states the shares were sold to satisfy tax withholding obligations triggered by restricted stock units that vested on May 18, 2026. This indicates the sale was related to compensation and tax requirements rather than a discretionary portfolio decision.

How many SOPHiA GENETICS (SOPH) shares does Zhenyu Xu hold after this transaction?

After the reported sale, Zhenyu Xu directly holds 626,280 Ordinary Shares of SOPHiA GENETICS SA. This post-transaction balance shows his remaining equity stake following the 608-share disposition used to cover tax withholding obligations tied to RSU vesting.

What trading range applied to the SOPH shares sold by Zhenyu Xu?

The filing notes that the 608 shares were sold in multiple transactions at prices ranging from $4.54 to $4.66 per share. The reported $4.6015 figure is a weighted average, and detailed per-trade pricing is available upon written request to the issuer or the SEC.